Broker Check
Gerald A. Horwitz

Gerald A. Horwitz

Born: 1935

University of Wisconsin 1953
BS, Roosevelt University 1959
University of Chicago Graduate School 1960
Northwestern University - Faculty 1967-1969
Harvard University - Endowment Institute 1998-1999
The American College - Certified Advisor in Philanthropy, 2010
Harvard Kennedy School, Behavioral Finance 2013

Business Experience:

Skilled in the broker/dealer, investment advisory, leasing business, banking and planned giving fields for the last forty years. Possesses a conservative investment philosophy, a high sense of integrity, assures quality investments, and provides time-tested advice and strategies.

1971-2012, Horwitz & Associates, Inc.
Chief Executive Officer and Chairman of the Board


1971- 2012, Triumphe Leasing Group, Inc.
President and Chairman of the Board


1987-2012, Raffaello, Inc.
CEO and Director


Financial Industry Regulatory Authority (FINRA)
Financial Reporting Committee Member 1976-1979
Direct Participation Programs Committee Member 1979-1981
District Committee Member1985-1989
Business Conduct Committee (District) 1985-1989
Chairman - District #8 1988-1989
Nominating Committee Member1992
Chairman - Nominating Committee 1993

Member, Securities Industries Association:
Regional Firm Committee 1984-1986
Direct Investment Committee 1990-1995
Technology Regulatory Subcommittee 1996-1999
Local Firms Committee 1996-2010

Member, Independent Broker/Dealer Trade Association, 1975
Associate Member, New York Stock Exchange 1967-1969
New York Stock Exchange "Securities Matter Expert"
Member, Financial Planners Association (formally International Association Financial Planner)
Chapter Board Member
Member, Association of Investment Brokers Past President 1965-1966
Matrix Capital Bank ($1.5 billion bank), Director, Audit and Loan Committee 2002-2005
Member, National Council on Planned Giving
Member, Chicago Council on Planned Giving, Director 2002-2005
Oakton Community College Education Foundation, Director

Active FINRA Licenses - 
Series 1 - General Securities Representative
Series 40 - General Securities Principal
Series 55 - Equity Trader
Series 63 - Uniform Securities Agent State Law
Series 79 - Investment Banking principal

Insurance Licenses: Life/Health/Variable Life